Jan 23, 2019 U.K. Conduct Regulator Consults on Guidance on Crypto-Assets and the U.K. Regulatory Perimeter By Shearman FinTech The U.K. Financial Conduct Authority (FCA) has launched a consultation on proposed Guidance on whether certain crypto-assets fall within...
Jan 18, 2019 European Securities and Markets Authority Publishes Recommendations on Crypto-Assets and Initial Coin Offerings By Shearman FinTech The European Securities and Markets Authority has published a report on the application and suitability of the EU securities regulatory...
Jan 18, 2019 European Banking Authority Reports on EU Regulatory Perimeter for Crypto-Assets By Shearman FinTech The European Banking Authority has published a report on the application and suitability of the EU bank regulatory framework for...
Jan 15, 2019 SEC Enforcements Against Quant Managers Show a Pattern (Don’t Ignore Issues With Your Models) By Shearman FinTech This summer marked the third time in eight years that the Securities and Exchange Commission brought high profile cases against asset...
Jan 14, 2019 EU Report on Regulatory Sandboxes and Innovation Hubs By Shearman FinTech Fulfilling the mandate in the European Commission's March 2018 FinTech Action Plan, the Joint Committee of the European Supervisory...
Jan 04, 2019 CFPB Proposes Regulatory Sandbox and Revisions to No-Action Letter Policy By Shearman FinTech Last month, the Consumer Financial Protection Bureau (CFPB) proposed revisions to the agency’s no-action letter (NAL) policy and floated...
Jan 02, 2019 Two Robo-Advisers Hit with Disclosure and Advertising (including Social Media) Violations By Shearman FinTech On December 21, 2018, the Securities and Exchange Commission (SEC) filed and settled charges against two robo-advisers (i.e., advisers...